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Rock Duane Henderson

Charles Schwab & CO., Inc.

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About Rock Duane Henderson

Rock Henderson is a registered representative with Charles Schwab & CO., Inc. Rock has been in the industry since 2010 and has experience in both brokerage and investment advisory services. Rock is registered to provide investment advice in California and Florida. Rock holds licenses Series 66, Series 7, Series 9, Series 10, Series 24, and SIE. Prior to joining Charles Schwab & CO., Inc. Rock was employed at EDWARD JONES, WELLS FARGO ADVISORS, LLC, and THRIVENT INVESTMENT MANAGEMENT INC. Rock is based in Orlando, Florida.

Firm Information

Rock Henderson is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Rock Henderson’s Registration & Firm History

FL

05/27/2014 - Present

Charles Schwab & CO., Inc. (Orlando FL)

CA

09/30/2011 - 08/29/2013

EDWARD JONES (REDDING CA)

CA

09/07/2010 - 10/04/2011

WELLS FARGO ADVISORS, LLC (REDDING CA)

CA

02/19/2010 - 04/07/2010

THRIVENT INVESTMENT MANAGEMENT INC. (RANCHO CORDOVA CA)

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Licenses & Designations

BOTH

Issued 03/25/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/24/2017

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/15/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/20/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/18/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Rock Duane Henderson.
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